Vault-13

HENNESSY CAPITAL INVST CORP

CLASS A COM · CUSIP 42600H108

46 institutional holders +5 vs Q1 2023
31,892,31931.9m shares reported held*
$327.6mreported value*
7 new 4 added 8 reduced 2 sold out net bought ≈ $31.4m (+3.1m shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once ($3.8m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $10.27.

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

0204060Q3 22: 42Q4 22: 38Q1 23: 41Q2 23: 4646Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 202242
Q4 202238
Q1 202341
Q2 202346

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
20020Q4 22: 8 bought or addedQ4 22: 12 cut or sold outQ4 22Q1 23: 13 bought or addedQ1 23: 10 cut or sold outQ1 23Q2 23: 11 bought or addedQ2 23: 10 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022812
Q1 20231310
Q2 20231110

Biggest buyers

Apollo Management Holdings, L.P. New +2,970,000+3.0m
First Trust Capital Management L.P. New +1,213,549+1.2m
COWEN AND COMPANY, LLC New +75,000+75.0k
Periscope Capital Inc. Added +48,762+48.8k
RIVERNORTH CAPITAL MANAGEMENT, LLC New +45,964+46.0k
COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS Added +39,570+39.6k
PRELUDE CAPITAL MANAGEMENT, LLC New +25,000+25.0k
Wealthspring Capital LLC Added +19,766+19.8k
StoneX Group Inc. New +16,000+16.0k
Virtu Financial LLC Added +11,017+11.0k

Biggest sellers

Weiss Asset Management LP Sold out -1,000,000-1.0m
Exos TFP Holdings LLC Reduced -157,257-157.3k
Schechter Investment Advisors, LLC Reduced -106,556-106.6k
Segantii Capital Management Ltd Sold out -75,000-75.0k
ADVISORY RESEARCH INC Reduced -32,895-32.9k
CONDOR CAPITAL MANAGEMENT Reduced -12,400-12.4k
Tidal Investments LLC Reduced -11,913-11.9k
Karpus Management, Inc. Reduced -2,875-2.9k
UBS Group AG Reduced -594-594
ROBINSON CAPITAL MANAGEMENT, LLC Reduced -169-169

Major shareholders (over 5%)

Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.

HolderStakeChangeShares Last filed
RIVERNORTH CAPITAL MANAGEMENT, LLC 13G · institution filed 2025-01-10 16.9% 555.0k 2025-01-10
MIZUHO FINANCIAL GROUP INC 13G · institution new · filed 2025-02-13 9.0% new 294.1k 2025-02-13

Holders, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 D. E. Shaw & Co., Inc. 0.05% of their portfolio New York, NY 2,970,0003.0m $30.6m $30.6m 0.05% Unchanged
2 Apollo Management Holdings, L.P. 0.32% of their portfolio New York, NY 2,970,0003.0m $30.5m $30.5m 0.32% New
3 Magnetar Financial LLC 0.65% of their portfolio EVANSTON, IL 2,889,7052.9m $29.8m $29.8m 0.65% Unchanged
4 CANTOR FITZGERALD, L. P. 0.60% of their portfolio NEW YORK, NY 2,548,4192.5m $26.1m $26.1m 0.60% Unchanged
5 ARISTEIA CAPITAL, L.L.C. 0.91% of their portfolio GREENWICH, CT 2,534,4992.5m $26.0m $26.0m 0.91% Unchanged
6 KIM, LLC 2.08% of their portfolio WICHITA, KS 2,370,0002.4m $24.3m $24.3m 2.08% Unchanged
7 Schechter Investment Advisors, LLC 1.86% of their portfolio BIRMINGHAM, MI 2,017,0472.0m $20.7m $20.7m 1.86% Reduced -106.6k -106,556
8 MARSHALL WACE, LLP 0.03% of their portfolio LONDON, X0 1,268,3211.3m $13.1m $13.1m 0.03% Unchanged
9 First Trust Capital Management L.P. 0.74% of their portfolio CHICAGO, IL 1,213,5491.2m $12.5m $12.5m 0.74% New
10 MILLENNIUM MANAGEMENT LLC 0.01% of their portfolio NEW YORK, NY 1,203,4621.2m $12.3m $12.3m 0.01% Unchanged
11 Polar Asset Management Partners Inc. 0.24% of their portfolio TORONTO, A6 1,200,0001.2m $12.3m $12.3m 0.24% Unchanged
12 Saba Capital Management, L.P. 0.39% of their portfolio NEW YORK, NY 1,164,9291.2m $12.0m $12.0m 0.39% Unchanged
13 Arena Capital Advisors, LLC- CA 29.13% of their portfolio LOS ANGELES, CA 849,438849.4k $8.7m $8.7m 29.13% Unchanged
14 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 719,377719.4k $7.4m $7.4m 0.00% Unchanged
15 HIGHBRIDGE CAPITAL MANAGEMENT LLC 0.39% of their portfolio NEW YORK, NY 659,095659.1k $6.8m $6.8m 0.39% Unchanged
16 NOMURA HOLDINGS INC 0.06% of their portfolio TOKYO, M0 600,000600.0k $6.2m $6.2m 0.06% Unchanged
17 Periscope Capital Inc. 0.48% of their portfolio Toronto, A6 592,556592.6k $6.1m $6.1m 0.48% Added +48.8k +48,762
18 Verition Fund Management LLC 0.09% of their portfolio GREENWICH, CT 538,219538.2k $5.5m $5.5m 0.09% Unchanged
19 Westchester Capital Management, LLC 0.17% of their portfolio VALHALLA, NY 485,957486.0k $5.0m $5.0m 0.17% Unchanged
20 MANGROVE PARTNERS IM, LLC 0.33% of their portfolio Greenwich, CT 450,000450.0k $4.6m $4.6m 0.33% Unchanged
21 Alberta Investment Management Corp 0.04% of their portfolio EDMONTON, A0 432,487432.5k $4.5m $4.5m 0.04% Unchanged
22 FIR TREE CAPITAL MANAGEMENT LP 0.41% of their portfolio New York, NY 403,174403.2k $4.2m $4.2m 0.41% Unchanged
23 Wealthspring Capital LLC 5.31% of their portfolio WEST HARRISON, NY 372,526372.5k $3.8m $3.8m 5.31% Added +19.8k +19,766
24 Karpus Management, Inc. 0.12% of their portfolio Pittsford, NY 370,200370.2k $3.8m $3.8m 0.12% Reduced -2.9k -2,875
25 ADVISORY RESEARCH INC 0.39% of their portfolio CHICAGO, IL 299,505299.5k $3.1m $3.1m 0.39% Reduced -32.9k -32,895
26 Exos TFP Holdings LLC 1.49% of their portfolio NEW YORK, NY 293,593293.6k $3.0m $3.0m 1.49% Reduced -157.3k -157,257
27 COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS 0.01% of their portfolio HARRISBURG, PA 139,568139.6k $1.4m $1.4m 0.01% Added +39.6k +39,570
28 Radcliffe Capital Management, L.P. 0.11% of their portfolio BALA CYNWYD, PA 126,496126.5k $1.3m $1.3m 0.11% Unchanged
29 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 119,272119.3k $1.2m $1.2m 0.00% Unchanged
30 COWEN AND COMPANY, LLC 0.06% of their portfolio NEW YORK, NY 75,00075.0k $769.5k $769.5k 0.06% New
31 HRT FINANCIAL LP 0.01% of their portfolio NEW YORK, NY 51,60151.6k $531.0k $531.0k 0.01% Unchanged
32 Meteora Capital, LLC 0.10% of their portfolio Boca Raton, FL 50,40050.4k $517.1k $517.1k 0.10% Unchanged
33 AQR Arbitrage LLC 0.02% of their portfolio Greenwich, CT 49,09849.1k $505.7k $505.7k 0.02% Unchanged
34 RIVERNORTH CAPITAL MANAGEMENT, LLC 0.02% of their portfolio WEST PALM BEACH, FL 45,96446.0k $471.6k $471.6k 0.02% New
35 ROBINSON CAPITAL MANAGEMENT, LLC 0.18% of their portfolio GROSSE POINTE FARMS, MI 39,32239.3k $403.4k $403.4k 0.18% Reduced -169 -169
36 Virtu Financial LLC 0.03% of their portfolio New York, NY 37,44237.4k $386.0k $386.0k 0.03% Added +11.0k +11,017
37 CONDOR CAPITAL MANAGEMENT 0.04% of their portfolio MARTINSVILLE, NJ 29,55029.6k $303.2k $303.2k 0.04% Reduced -12.4k -12,400
38 PRELUDE CAPITAL MANAGEMENT, LLC 0.02% of their portfolio NEW YORK, NY 25,00025.0k $256.5k $256.5k 0.02% New
39 StoneX Group Inc. 0.02% of their portfolio NEW YORK, NY 16,00016.0k $164.2k $164.2k 0.02% New
40 Walleye Capital LLC 0.00% of their portfolio NEW YORK, NY 15,91015.9k $163.2k $163.2k 0.00% Unchanged
41 GEODE CAPITAL MANAGEMENT, LLC 0.00% of their portfolio BOSTON, MA 15,37615.4k $158.4k $158.4k 0.00% Unchanged
42 Tidal Investments LLC 0.00% of their portfolio Milwaukee, WI 11,57511.6k $119.0k $119.0k 0.00% Reduced -11.9k -11,913
43 UBS Group AG 0.00% of their portfolio ZURICH, V8 756756 $7.8k $7.8k 0.00% Reduced -594 -594
44 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 300300 $3.1k $3.1k 0.00% Unchanged
45 Tower Research Capital LLC (TRC) 0.00% of their portfolio NEW YORK, NY 157157 $1.6k $1.6k 0.00% New
46 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged